Employee Discipline

Employee Discipline

Discipline in the broad sense

means orderliness – the opposite
of confusion.
Discipline is obedience to the
rules framed for the regulation of
human conduct.

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 Employee Discipline
Discipline refers to the actions imposed by an organization
on its employees for failure to follow the organization's rules,
standards, or policies.
Positive Discipline: Negative Discipline:
That form of training and That form of discipline
attitudinal conditioning which which takes the form of
is used to correct deficiencies punishment or
without invoking punishment is chastisement is known as
known as positive discipline. negative discipline.
Positive Discipline is When positive methods fail
constructive in nature. to achieve conformity with
It is present when employees accepted standards of
willingly follow the directions of conduct or performance, a
their supervisors and adhere negative type of action,
to the standards of conduct punitive in nature, must
prevalent in the organization. follow to preserve the
integrity of the organization. 3
– Even with more positive approaches to discipline,
organizations still need to have some form of disciplinary
procedure, whether formal or informal, that carries
successively stiffer penalties for repeated or more serious
offenses.
– A well-disciplined organization is one that is highly trained. It
follows that an effective, efficient organization is a well-
disciplined one in which the principles of positive discipline
have been recognized and practiced.
– If supervisors are thoroughly indoctrinated in their
responsibilities; if they are expert planners, trainers, and
leaders; if they assist their subordinates by demonstrating,
guiding, and counseling; and if they set a good example by
their conduct, positive discipline will prevail and the need for
punitive discipline will be lessened. Indeed, the skill with
which supervisors use this positive tool to a large extent
determines the quality of their leadership and the
effectiveness of the organization.

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 PROCEDURE OF TAKING
DISCIPLINARY ACTION
Allegations against the delinquent shall
be recorded in writing.
The accused shall be served with a copy
of show cause notice/charge sheet and
not less than seven days time to give an
explanation to the charges brought
against him.
The employee shall be given a hearing if
such a prayer is made I.e. an enquiry
shall be conducted into charges.
Decision of the authority regarding the
penalty to be imposed and the
communication of the same to the
delinquent.
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 PROCEDURE OF TAKING DISCIPLINARY ACTION
First Stage:
• The first stage is the issue of a charge-sheet or showcase notice.
Second Stage:
• This stage is for consideration of the explanation submitted by the person
concerned.
Third Stage:
• The third stage in the procedure is the notice to the worker of holding the enquiry.
Fourth Stage:
• The most important steps in the procedure of disciplinary action is the actual
holding of enquiry.
Fifth Stage:
• The Enquiry Officer will summaries the case and makes his recommendations to
the management. It is for the Management to study the case and satisfy
themselves weather the charges against the worker have been proved or not, on
the evidence recorded at the enquiry.
Sixth Stage:
• The sixth and final step is the letter informing the accused the punishment, which
has been decided to be given to him by the management.
• If, after the enquiry, the accused is found not guilty, he should be exonerated from
the charges. The ‘exoneration’ must be the word to be used in official letter and
not withdrawal or dropped etc. The technical effect of exoneration and withdrawal
of charges are quite different. 6
 WHAT IS ENQUIRY?

“No person can be

punished without
giving him or her a
fair opportunity of self
defense.”
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 WHO IS WORKER
A worker when on very solitary occasion doing
the functions of a manager or an
administrative officer does not cease to be a
worker.-21 DLR, P-285
In the absence of establishing by the
management that the worker discharged
duties or functions of the office of
administrative nature or of managerial nature
mere designation is not sufficient to show that
a person is not a worker.-50 DLR, P-476

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 CHARGE SHEET FORMAL
No----------- Date:---------
NAME
DESIGNATION / EMPLOYEE #
MAILING ADDRESS
PERMANENT ADDRESS
SUBJECT :
PART – I : STATEMENT OF ALLEGATION
-Exact date and time of the misconduct;
PART- II : PROPOSED CHARGES – SECTION OF LAW
PART – III : PUNISHMENT – SECTION OF LAW
PART – IV : REPLY-TO-DATE-HOW – WRITTEN.
PART – V : CONSEQUENCE IF NO REPLY IS RECEIVED

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Scrutinize Reply to Charge-sheet
Employer bound to scrutinize reply to
charge-sheet and then decide as to
whether or not enquiry is to be held.
Decision to hold enquiry without waiting
for reply to charge-sheet violates S.O. 15
(4).”-Musawat Ltd. Vs. Hafeez Raquib
(1978 LSLR 41).

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Scrutinize Reply to Charge-sheet
“Holding of enquiry before receiving explanation
of employee tantamount to putting cart before
horse-it is incumbent upon employer to
scrutinize reply to charge-sheet and then decide
as to whether or not enquiry is to be held.
Appellant, in instant case, already deciding to
hold enquiry irrespective of nature of reply to
charge-sheet. Held., charge-sheet was in
violation of law”.-Post Master General, Central
Circle, Lahore vs. Izharul Huq (NLR 1978
Lahore 358)

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K‡ib|

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 First Stage:
The first stage is the issue of charge sheet
or show-cause notice.
The Departmental Manager, having
considered the preliminary report against
the man, will issue a Charge sheet or
Show Cause Notice as soon as possible.
The Charge Sheet shall be prepared by the
Personnel Department in consultation of
the Head of the concerned Departmental
Manager or Manager of the Organization
(it depends on the policy of the
Organization).

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 Second Stage
This stage is consideration of the
explanation submitted by the worker
concerned. The worker may either admit
or refute the charges.
In case of admission of charges without
qualification or ambiguity and appeal for
leniency, it would not be necessary for the
employer to hold any further enquiry and
he may either issue written warning or
award punishment commensurate with
the gravity of the offence.

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 Third Stage
The third stage in the procedure is the
notice to the worker of holding the
enquiry. In case the worker fails to
submit his explanation, the notice of
enquiry must be issued.
It is absolutely essentials that the enquiry
should be held in the presence of the
accused. If, however, he fails to be
present on the specific date and time, the
Enquiry Officer may proceed with the
enquiry ex-parte, provided, however, the
notice of enquiry contains a provision to
that effect.

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 Fourth Stage
The most important step in the
procedure of disciplinary action is
the actual holding of enquiry.
The principles of natural justice that
no man should be condemned
unheard, is the important point to be
kept in mind by the employer when
holding an enquiry and the worker
should be given every opportunity to
defend himself.

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The enquiry officer should conduct the
enquiry in the following manner:
The enquiry officer
The accused worker
The witnesses of the accused, if any
The witness of the prosecution side, if any
Representative of the Management as an
Observer, if any
Observer from the accused side, if any

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 Fifth Stage
The enquiry Officer will summarize the
case and make his recommendations to
the management.
It is for the Management to study the
case and satisfy himself that the charge
against the worker have been proved or
not, on the evidence recorded at the
enquiry.
He should then decide the suitable
punishment warranted on the proven
charges taking into account the gravity of
the misconduct, his past record, and any
other extenuating or aggravating
circumstances. 20
 Sixth Stage
The sixth and final step is the letter
informing the accused the punishment
which ahs been decided to be given to
him by the management.
If, either the enquiry, the accused is
found not guilty, he should be exonerated
from the charges. The ‘exoneration’ must
be the word to be used in official letter
and not withdrawal or dropped etc. The
technical effect of the exoneration and
withdrawal of charges are quite different.

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Any worker found guilty of misconduct
but not dismissed in consideration of any
extenuating circumstances, may be
discharged or suspended, as a measure of
punishment without wages for a period of
seven days only. Suspension by way of
punishment may be ordered only at the
end of the enquiry.
If a dispute is pending before a
Conciliation Officer, or Labor Court, the
letter of dismissal should be issued only
on receipt of permission of the
Conciliation Officer of the Labor Court.
A complete record of the various stages of
the enquiry and the punishment should be
kept in file of the workers record of
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service.
 Employee Discipline
Once the discipline process for your organization
is established:
train all manager/supervisors on the process to
ensure that it will be applied appropriately
clearly communicate the discipline process to your
employees
clearly communicate the organization's
expectations for behaviour
apply the discipline policy fairly and consistently
base disciplinary decisions on the facts of each
situation

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 Figure 6.5 Kinds of Reinforcement
Positive Reinforcement and avoidance can be used to motivate
desired behaviors by employees

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 Figure 6.5 Kinds of Reinforcement [continued]
Extinction and Punishment can be used to change undesired
employee

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PRINCIPLES OF NATURAL JUSTICE
No one should be condemned or punished without being
given an opportunity to explain his conduct and the
changes brought against him.
The supreme court of India has held “The rules of Natural
Justice require that a party should have the opportunity of
adducing all relevant evidence on which he relies, that the
evidence of the opponent should be taken in his presence,
that he should be given the opportunity of cross-
examining the witnesses examined by that party and that
no materials should be relied on against him without his
being given an opportunity of explaining them.”
That no decision should be taken by someone who is
biased.
That no one should suffer derogation from his existing
rights without his case being considered.
That no decision impairing any person’s rights should be
based on inaccurate or inadequate facts and
That a citizen is entitled to know the reason for any
decision which may result in injury to him.
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 The Hot Stove Rule
Good discipline (or a rule) is like a hot
stove in that:
– It provides a warning (feels hot)
– It is consistent (burns every time)
– It is immediate (burns now)
– It is impersonal (burns all alike)

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